Associate ParalegalApply Job ID: R-006547 Date posted: 04/12/2019 Primary Location SC-Fort Mill
LPL Financial is seeking an Associate Paralegal to support our Early Dispute Resolution Group with general paralegal and administrative duties.
Specific responsibilities include:
- Research and respond to customer complaints and inquiries including tracking, setting up files, making required FINRA filings and seeing complaint files through response and closure. Also respond to FINRA and other regulator inquiries involving clients and advisors
- Perform collective analyses of product complaints for trends and identify potential corrective or preventive actions
- Assist attorneys with complaints and arbitration including setting up files, research, document productions, bates stamp of documents, discovery requests (motions and subpoenas), review and index documents produced and received
- Work with outside counsel on matters as assigned. Often times this requires extensive and ongoing research to provide documents and information
- Coordinate with other internal company business units
- Special projects including serving on or supporting attorneys with committees or large group projects
- Work with outside providers to prepare financial analysis (P&L)
- 2 to 3 years paralegal experience supporting litigation attorney at a law firm or in-house legal department.
- Strong MS Office skills including Word, Excel, PowerPoint and Outlook and aptitude to quickly learn new systems
- Must be able to interpret and communicate complex legal subject matter in clear and simple terms
- Ability to interact and communicate across all business lines, and with internal and external customers
- Exceptional analytical skills coupled with exceptional oral and written communication skills
- Strong organizational skills and experience with report generation tools and data analysis
- Associate's degree
About LPL Financial:
LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.
If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.
We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.
Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE
*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.